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Headshot Recruitment Limited Hiring! Work from Home Responsible Officer (SFC Type 4 - Type 9) Remote work in Hong Kong - Ricebowl
Responsible Officer (SFC Type 4 - Type 9) Remote work
Headshot Recruitment Limited
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Job Description
Responsibilities
Responsible Officer (Type 4,9 )
Monthly salary
Work-life balance culture
Job Responsibilities
Act as a Responsible Officer for Type 4 and Type 9 regulated activities and assume full personal accountability for the proper supervision of these activities.
Ensure the firm’s operations comply with the Securities and Futures Ordinance (SFO), SFC Codes of Conduct, circulars, guidelines, and all applicable regulatory requirements.
Maintain and update the firm’s compliance policies, procedures, and internal control systems.
Act as the primary point of contact with the SFC on licensing, regulatory, and compliance matters.
Job Requirements
Current SFC Type 4 and 9 both unconditional RO status or eligibility to act as an RO for Type 4 and 9 regulated activities.
At least 5 years of relevant experience in the financial services industry, with a strong understanding of SFC regulations and guidelines.
A degree in Finance, Law, Business Administration, or related fields
Fluency in English and Cantonese or Mandarin is essential.
If you are interested in the above openings or building a successful career, please contact Miss Dara Chen at +************* or submit your CV directly to [email redacted, apply via Company website]
We provide One-On-One Career Coaching Services for FREE. If you are looking for more advices in your career endeavors, feel free to contact us, or visit our company website at *************
Full-time
Monthly salary
Work-life balance culture
Job Responsibilities
Act as a Responsible Officer for Type 4 and Type 9 regulated activities and assume full personal accountability for the proper supervision of these activities.
Ensure the firm’s operations comply with the Securities and Futures Ordinance (SFO), SFC Codes of Conduct, circulars, guidelines, and all applicable regulatory requirements.
Maintain and update the firm’s compliance policies, procedures, and internal control systems.
Act as the primary point of contact with the SFC on licensing, regulatory, and compliance matters.
Job Requirements
Current SFC Type 4 and 9 both unconditional RO status or eligibility to act as an RO for Type 4 and 9 regulated activities.
At least 5 years of relevant experience in the financial services industry, with a strong understanding of SFC regulations and guidelines.
A degree in Finance, Law, Business Administration, or related fields
Fluency in English and Cantonese or Mandarin is essential.
If you are interested in the above openings or building a successful career, please contact Miss Dara Chen at +************* or submit your CV directly to [email redacted, apply via Company website]
We provide One-On-One Career Coaching Services for FREE. If you are looking for more advices in your career endeavors, feel free to contact us, or visit our company website at *************
Full-time
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